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Insights on securities law, exchange listings, going public, SEC reporting, and market regulation. Stay updated with our latest articles on capital markets compliance, regulatory developments, and strategic guidance for public and private companies.
On May 9,2019, the SEC charged Danny Williams, the former President of Quality Companies, LLC, a former subsidiary of Indianapolis-based Celadon Group…
Read MoreOn May 3, 2019, a federal district court entered a final consent judgment against Rocco Roveccio, a broker who was charged with…
Read MoreThe term "penny stock" refers to a security issued by a company whose shares that trades at less than $5 per share…
Read MoreOn April 29,2019, the SEC charged James Siniscalchi, a New York City man with continuing a previously charged scheme, stealing millions of dollars…
Read MoreThe SEC announced on April 29,2019, the entry of an emergency court order freezing assets related to alleged insider trading that yielded…
Read MoreOn April 26, 2019, the SEC charged Christopher Dougherty and several entities he controlled, with operating a Ponzi scheme that defrauded his…
Read MoreWhen a company decides to raise money in a Regulation D offering as part of its going public transaction, it must file…
Read MoreDTC’s eligibility creates liquidity for companies after a going public transaction. DTC’s Issue Eligibility program allows newly issued securities as well as…
Read MoreThe SEC charged on April 25,2019, an Indianapolis-based Celadon Group Inc. with an accounting fraud that allowed the truckload freight company to…
Read MoreOn April 18, 2019, the United States District Court for the Southern District of New York, ordered a former broker, Zachary Berkey,…
Read MoreOn April 23, 2019, the SEC obtained an emergency asset freeze and temporary restraining order to halt an ongoing fraudulent securities offering…
Read MoreThe SEC charged David Loflin on April 22,2019, for his role in a pump-and-dump scheme in the stock of Greenway Design Group,…
Read MoreRegulation A Form 1-A Offering Statements require line item disclosure of information about the issuer and the offering. Form 1-A is subject…
Read MoreRule 506(c) is the most commonly used exemption of the Regulation D of the Securities Act. Rule 506(c) allows the issuer to…
Read MoreOn April 18, 2019, the SEC charged Kimberly Sredich, a Michigan resident, with misappropriating funds from brokerage customers of a registered broker-dealer…
Read MoreOverview of the Regulation A Exemption The Regulation A offering exemption provides investors with more investment choices and issuers with more capital…
Read MoreThe SEC announced on April 18,2019, the filing of insider trading charges against Yuh-Yue Chen, a former engineer at Skyworks Solutions, Inc.,…
Read MoreOn April 11, 2019, two federal court judges entered final judgments against Joseph Meli, a New York City man, and six of…
Read MoreLocating a sponsoring market maker to file the Form 211 under Rule 15c-211 has become a challenging step in the going public…
Read MoreOn April 11, 2019, the SEC charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in…
Read MoreOn April 11, 2019, the SEC charged Arif Naqvi and Abraaj Investment Management Limited, a Dubai-based investment advisory firm, with misappropriating funds…
Read MoreThe SEC filed a civil injunctive action on April 10,2019, charging a New Jersey resident, Gonzalo Ortiz with defrauding an investor by…
Read MoreOn April 9,2019, the SEC charged fifteen individuals with acting as unregistered brokers or aiding-and-abetting such activity in connection with Intertech Solutions,…
Read MoreOn April 10, 2019, the SEC charged Paul Powers, a former senior lawyer at SeaWorld Entertainment Inc with insider trading based on…
Read MoreOn February 5, 2019, the SEC obtained a final judgment against a New York-based broker, Robert DePalo who was charged with orchestrating…
Read MoreOn March 28, 2019, the SEC charged Keith Borge, the former controller of a New York-based not-for-profit college with defrauding municipal securities…
Read MoreThe SE announced on April 1, 2019 that it had halted an ongoing investment fraud by Investment Advisor Motty Mizrahi targeting members…
Read MoreOn March 22, 2019, the SEC charged registered investment adviser Direct Lending Investments, LLC with a multi-year fraud that resulted in approximately…
Read MoreOn March 26, 2019, the Securities and Exchange Commission (SEC) announced settled actions against Reverse Merger Shell Brokers, James K. McKillop, attorney…
Read MoreOn March 26, 2019 the SEC filed settled charges against recidivist James K. McKillop for acting as an unregistered broker and for…
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